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About John H. Walsh
John H. Walsh is a Partner in Sutherland’s Financial Services Practice Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of the nation’s registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others.
At the OCIE, John designed and implemented the SEC’s securities compliance examination practices, first as a Senior Advisor for Compliance Policy and then, most recently, as Associate Director-Chief Counsel. In 2009, at the peak of the financial crisis, he served as OCIE’s Acting Director and led a massive retraining of examination staff on anti-fraud techniques, including examination and certification of hundreds of staff as Certified Fraud Examiners. Until a permanent director was appointed in January 2010, he also testified before Congress and responded to inquiries from the Inspector General, the Government Accountability Office, Congress, and the Financial Crisis Inquiry Commission.
Prior to his tenure at OCIE, John was Special Counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC’s Division of Enforcement, serving first as Senior Counsel and then as Chief of the Branch of Regional Office Assistance where he regularly appeared before the Commission’s Closed Meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.
John has held several high-ranking positions on committees and task forces during his tenure with the SEC. He served on the Executive Committee (the newly formed governing body for the SEC’s National Examination Program) and was Co-Chair of the Executive Committee’s Steering Committee on Compliance, Ethics, and Internal Controls. In 2010, John was a member of the Self-Assessment Leadership Team studying the reform of SEC examinations and, in 2007, led a study on Refunds, Sales Practices, and Revenues from Periodic Payment Plans. He has also been an active member of SEC task forces studying the Regulation of Public Utility Holding Companies and the Fair and Efficient Administrative Proceedings. In 2010, and again in 2011, John’s team received the SEC’s Law and Policy Award for its work on the Dodd-Frank Act.
John is a Certified Fraud Examiner and frequently speaks on issues such as the compliance implications of the financial crisis, dangers of identity theft, and issues to consider in an annual compliance review. He is a recognized author on securities regulation and compliance, and has published articles in Harvard International Law Journal, Columbia Business Law Review, Business Lawyer, and many others.
Sutherland Asbill & Brennan LLP is a law firm with global reach known for solving challenging business problems and resolving sophisticated legal issues for many of the world’s largest companies. Founded in 1924, the firm handles matters throughout the United States and worldwide. Seven practice areas –corporate, financial services, energy and environmental, intellectual property, litigation, real estate and tax – provide the framework for an extensive range of focus areas, allowing Sutherland attorneys to serve a diverse client base that ranges from small and medium-sized start-up businesses to a significant number of Fortune 100 companies.
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Fraud and money laundering continue to be omnipresent in the Banking sector and the illegal schemes are becoming increasingly more sophisticated.
In this two-hour live webcast, the Knowledge Group has organized a panel of key experts and thought leaders to uncover the hidden links between fraud and money laundering operations in banks and finance companies as well as an understanding of the latest schemes. The speakers will provide an in-depth analysis of analytics involved in these crimes, a discussion on the latest developments in investigations and operations and best practices to strengthen your risk reduction process to prevent the negative impact of fraud and money laundering.
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: www.knowledgecongress.org.